Securitized Product Business Oversight Compliance - Vice President Job at Barclays (New York)

Job Description

Join us as a Securitized Product Business Oversight Compliance - VP, where you’ll provide expert oversight and ensure adherence to legal, regulatory, and firm-wide compliance standards. In this role, you’ll assess and challenge securitized product activities, including trading, structuring, and origination, while helping to identify and mitigate risks. You’ll work closely with business and control partners, applying strong knowledge of U.S. securities regulations (FINRA/SEC) and market structures. This is a dynamic position suited for individuals who excel in problem-solving, communication, and navigating fast-paced environments.

Job Responsibility

Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems
Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct
Conduct investigation of compliance risk events or breaches
Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences
Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements
Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management
Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime

Requirements

Understanding of US Laws, Rules and Regulations related to securities (FINRA/SEC), derivatives (CFTC) and loans
Identifying and assessing compliance risks specific to the securitized product distribution, trading, structuring, and origination activities
Understanding of market structure for securitized products
Working productively within a global Compliance team
Providing support to members of the Business and Controls Partners on compliance risk related issues

Nice to have

Attention to detail and problem-solving mindset
Ability to multitask in a fast-paced environment
Excellent verbal and written communication skills

What we offer

Wellness center equipped with modern amenities, including fitness centres offering a variety of classes and services
Health center providing a range of services, including primary and urgent care, wellness exams, health coaching, and vaccinations
Office features a variety of sophisticated dining options, including a colleague restaurant and a private executive dining room

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Securitized Product Business Oversight Compliance - Vice President

Job Description

Job Responsibility

Requirements

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